Michael Charles Kaplan
Professional Summary
Michael Charles Kaplan was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1970 - 1993. Michael had worked at 8 firms and has passed the Series 63, Series 5, Series 7, Series 1, Series 4, Series 53, Series 24 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
56 years in the financial services industry
Current & Past Employments
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Current Firm
CULLUM & SANDOW SECURITIES, INC. | THE HICKS COMPANY | IFP, INCORPORATED
Contact Information
Established
Texas since 02/21/1984Firm Type
CorporationFiscal Year End
JuneDocuments
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Jun 1970Series 12 — NYSE Branch Manager Examination
Passed Jul 1980Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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